RANDOLPH B MCNEILL is currently employed as a Broker and/or Investment Adviser at BUCKMAN, BUCKMAN & REID, INC. located at 44 church st., little silver, NJ, 07739.
RANDOLPH B MCNEILL has worked at BUCKMAN, BUCKMAN & REID, INC. since May 04, 2015
Disclosure History
RANDOLPH B MCNEILL has 3 Disclosure Event(s).
Date: February 09, 2015 Category: Customer Dispute Allegations: CHURNING, UNSUITABILITY, BREACH OF FIDUCIARY DUTY, COMMON LAW FRAUD, BREACH OF CONTRACT Damage Amount Requested: $100,000.00 Settlement Amount: $62,500.00 Broker Comment: THESE WERE PERSONAL AND BUSINESS RELATIONSHIPS WHICH I HAD DEVELOPED OVER MANY YEARS. I VEHEMENTLY DENY ALL ALLEGATIONS, AND ALL CLAIMS ARE COMPLETELY UNFOUNDED. ALL TRANSACTIONS AND RECOMMENDATIONS WERE DONE IN COMPLETE CONJUNCTION AND CONSIDERATION OF THE CUSTOMERS' STATED INVESTMENT GOALS AND OBJECTIVES.
Date: August 16, 2012 Category: Judgment / Lien Judgment/Lien Amount: $21,779.00 Judgment/Lien Type: Tax Broker Comment: $550.00 MONTHLY PAYMENT. INSTALLMENT AND REPAYMENT AGREEMENT ESTBLISHED SEPTEMBER 2012.
Date: April 27, 2011 Category: Customer Dispute Allegations: CHURNING, EXCESSIVE COMMISSIONS Damage Amount Requested: $218,325.00 Settlement Amount: $55,000.00 Broker Comment: I HAVE BEEN DISMISSED FROM THE CASE WITH PREJUDICE. THE FIRM HAS SETTLED WITH THE CUSTOMER TO AVOID THE RISKS, COST AND UNCERTAINTY OF AN ARBITRATION HEARING.
More Information
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